UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00648
`
`U.S. Patent No. 9,860,044
`
`DECLARATION OF JAMES L. MULLINS, PhD
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 9,860,044
`
`IPR2022-00648
`Apple EX1023 Page 1
`
`
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00648
`
`U.S. Patent No. 9,860,044
`
`DECLARATION OF JAMES L. MULLINS, PhD
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 9,860,044
`
`IPR2022-00648
`Apple EX1023 Page 1
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`
`TABLE OF CONTENTS
`
`I. INTRODUCTION ............................................................................................. 1
`
`II. BACKGROUND AND QUALIFICATIONS ........................................................... 2
`
`III. BACKGROUND ON PUBLIC ACCESSIBILITY ..................................................... 4
`
`A. SCOPE OF THIS DECLARATION ............................................................................... 4
`
`B. PERSON OF ORDINARY SKILL IN THE ART .................................................................. 6
`
`C. LIBRARY CATALOG RECORDS AND OTHER RESOURCES ................................................. 8
`
`D. MONOGRAPH PUBLICATIONS ............................................................................. 15
`
`IV. OPINION REGARDING AUTHENTICITY AND PUBLIC ACCESSIBILITY .......... 17
`
`A. STEFANIA SESIA, ISSAM TOUFIK, AND MATTHEW BAKER, EDITORS. LTE: THE UMTS LONG
`
`TERM EVOLUTION FROM THEORY TO PRACTICE. 2D EDITION. WILEY, 2011. (“SESIA”) ........... 17
`
`V. AVAILABILITY FOR CROSS-EXAMINATION ................................................... 22
`
`VI. RIGHT TO SUPPLEMENT ............................................................................. 23
`
`VII. SIGNATURE ............................................................................................... 23
`
`ii
`
`IPR2022-00648
`Apple EX1023 Page 2
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`
`I, James L. Mullins, PhD, declare as follows:
`
`I.
`
`INTRODUCTION
`1.
`I have been retained in this matter by Apple Inc. (“Petitioner” or
`
`“Apple”) in the above-captioned inter partes review relating to U.S. Patent
`
`9,860,044 to provide an opinion on a specific document.
`
`2.
`
`I am presently Dean Emeritus of Libraries and Esther Ellis Norton
`
`Professor Emeritus at Purdue University. My career as a professional and
`
`academic/research spanned more than 44 years including library positions at
`
`Indiana University, Villanova University, Massachusetts Institute of Technology,
`
`and Purdue University. Appendix A is a true and correct copy of my curriculum
`
`vitae describing my background and experience.
`
`3.
`
`In 2018, I founded the firm Prior Art Documentation Librarian
`
`Services, LLC, located at 205 St. Cuthbert, Williamsburg, VA 23188 after
`
`purchasing the intellectual property of and successor to Prior Art Documentation,
`
`LLC located at 711 South Race Street, Urbana, IL 61801. Further information about
`
`my firm, Prior Art Documentation Librarian Services, LLC (PADLS), is available
`
`at www.priorartdoclib.com.
`
`4.
`
`I have been retained by Petitioner to offer my opinion on the
`
`authenticity and dates of public accessibility of various documents. For this service,
`
`I am being paid my usual hourly fee of $275.00. I have no stake in the outcome of
`
`1
`
`IPR2022-00648
`Apple EX1023 Page 3
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`this proceeding or any related litigation or administrative proceedings, and my
`
`compensation in no way depends on the substance of my testimony or the outcome
`
`of this proceeding.
`
`II. BACKGROUND AND QUALIFICATIONS
`5.
`I received a Bachelor of Arts degree in History, Religion and Political
`
`Science in 1972 as well as a Master of Arts degree in Library Science in 1973
`
`from the University of Iowa. I received my Ph.D. in Academic Library Management
`
`in 1984 from Indiana University. Over the past forty-four years, I have held various
`
`positions and as a leader in the field of library and information sciences.
`
`6.
`
`I am presently Dean Emeritus of Libraries and Esther Ellis Norton
`
`Professor Emeritus at Purdue University, and have been since January 1, 2018. I
`
`have been previously employed as follows:
`
`•
`
`•
`
`Dean of Libraries and Professor and Esther Ellis Norton Professor,
`
`Purdue University, West Lafayette, IN (2004-2017)
`
`Assistant/Associate Director for Administration, Massachusetts
`
`Institute of Technology (MIT) Libraries, Cambridge, MA (2000-
`
`2004)
`
`•
`
`University Librarian and Director, Falvey Memorial Library,
`
`Villanova University, Villanova, PA (1996-2000)
`
`2
`
`IPR2022-00648
`Apple EX1023 Page 4
`
`
`
`•
`
`•
`
`•
`
`•
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`Director of Library Services, Indiana University South Bend, South
`
`Bend, IN (1978-1996)
`
`Part-time Instructor, School of Library and Information Science,
`
`Indiana University, Bloomington, IN (1979-1996)
`
`Associate Law Librarian, and associated titles, Indiana University
`
`School of Law, Bloomington, IN (1974-1978)
`
`Catalog Librarian, Assistant Professor, Georgia Southern College
`
`(now University), Statesboro, GA (1973-1974)
`
`7.
`
`I am a member of the American Library Association (“ALA”), where
`
`I served as the chair of the Research Committee of the Association of College and
`
`Research Libraries (“ACRL”). My service to ALA included service on the editorial
`
`board of the most prominent library journal, College and Research Libraries. I also
`
`served on the Standards Committee, College Section of the Association of College
`
`and Research Libraries, where I was instrumental in developing a re-issue of the
`
`Standards for College Libraries in 2000.
`
`8.
`
`I am an author of numerous publications in the field of library science,
`
`and have given presentations in library sciences at national and international
`
`conferences. During more than 44 years as an academic librarian and library
`
`science scholar, I have gained extensive experience with catalog records and online
`
`library management systems (LMS) built using Machine-Readable Cataloging
`
`3
`
`IPR2022-00648
`Apple EX1023 Page 5
`
`
`
`(“MARC”) standards. As an academic
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`library administrator, I have had
`
`responsibility to ensure that students were educated to identify, locate, assess, and
`
`integrate information garnered from research library resources. I have also
`
`facilitated the research of faculty colleagues either directly or through the
`
`provision of and access to the requisite print and/or digital materials and services
`
`at the universities where I worked.
`
`9.
`
`Based on my experience identified above and detailed in my
`
`curriculum vitae, which is attached hereto as Appendix A, I consider myself to be an
`
`expert in the field of library science and academic library administration. I have
`
`previously offered my opinions on the public availability and authenticity of
`
`documents in over 40 cases. I have been deposed in one case.
`
`III. BACKGROUND ON PUBLIC ACCESSIBILITY
`A.
`Scope of This Declaration
`10.
`I am not a lawyer, and I am not rendering an opinion on the legal
`
`question of whether a particular document is, or is not, a “printed publication”
`
`under the law. I am, however, rendering my expert opinion on the authenticity of
`
`the document referenced herein and when and how this document was disseminated
`
`or otherwise made available to the extent that persons interested and ordinarily
`
`skilled in the subject matter or art, exercising reasonable diligence, could have
`
`located the document.
`
`4
`
`IPR2022-00648
`Apple EX1023 Page 6
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`I am informed by counsel that an item is considered authentic if there
`
`11.
`
`is sufficient evidence to support a finding that the item is what it is claimed to be. I
`
`am also informed that authenticity can be established based on the contents of the
`
`document itself, such as the appearance, content, substance, internal patterns, or
`
`other distinctive characteristics of the item.
`
`12.
`
`I am informed by counsel that a given reference qualifies as “publicly
`
`accessible” if it was disseminated or otherwise made available such that a person
`
`interested in and ordinarily skilled in the relevant subject matter could locate it
`
`through the exercise of ordinary diligence.
`
`13. While I understand that the determination of public accessibility under
`
`the foregoing standard rests on a case-by-case analysis of the facts particular to
`
`an individual publication, I also understand that a printed publication is rendered
`
`“publicly accessible” if it is cataloged and indexed by a library such that a person
`
`interested in the relevant subject matter could locate it (i.e., I understand that
`
`cataloging and indexing by a library is sufficient, though there are other ways that
`
`a printed publication may qualify as “publicly accessible”). One manner of
`
`sufficient indexing is indexing according to subject matter. I understand that it is
`
`not necessary to prove someone actually looked at the printed publication in order
`
`to show it was publicly accessible by virtue of a library’s cataloging and indexing
`
`thereof. I understand that cataloging and indexing by a single library of a single
`
`5
`
`IPR2022-00648
`Apple EX1023 Page 7
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`instance of a particular printed publication is sufficient. I understand that, even if
`
`access to a library is restricted, a printed publication that has been cataloged and
`
`indexed therein is publicly accessible so long as a presumption is raised that the
`
`portion of the public concerned with the relevant subject matter would know of the
`
`printed publication. I also understand that the cataloging and indexing of
`
`information that would guide a person interested in the relevant subject matter to
`
`the printed publication, such as the cataloging and indexing of an abstract for the
`
`printed publication, is sufficient to render the printed publication publicly
`
`accessible.
`
`14.
`
`I understand that evidence showing the specific date when a printed
`
`publication became publicly accessible is not necessary. Rather, routine business
`
`practices, such as general library cataloging and indexing practices, can be used to
`
`establish an approximate date on which a printed publication became publicly
`
`accessible.
`
`B.
`15.
`
`Person of Ordinary Skill in the Art
`In forming the opinions expressed in this declaration, I have reviewed
`
`the documents and appendices referenced herein. These materials are records
`
`created in the ordinary course of business by publishers, libraries, indexing
`
`services, and others. From my years of experience, I am familiar with the process
`
`for creating many of these records, and I know that these records are created by
`
`6
`
`IPR2022-00648
`Apple EX1023 Page 8
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`people with knowledge of the information contained within the record. Further,
`
`these records are created with the expectation that researchers and other members
`
`of the public will use them. All materials cited in this declaration and its
`
`appendices are of a type that experts in my field would reasonably rely upon and
`
`refer to in forming their opinions.
`
`16.
`
`I have been informed by counsel that the subject matter of this
`
`proceeding relates to the use of modulation and coding schemes in a wireless
`
`communication network.
`
`17.
`
`I have been informed by counsel that a “person of ordinary skill in
`
`the art at the time of the inventions” (POSITA) is a hypothetical person who is
`
`presumed to be familiar with the relevant field and its literature at the time of the
`
`inventions. This hypothetical person is also a person of ordinary creativity, capable
`
`of understanding the scientific principles applicable to the pertinent field.
`
`18.
`
`I have been informed by counsel that persons of ordinary skill in this
`
`subject matter or art would have included someone with a Master’s degree in
`
`Electrical Engineering, Computer Science, Applied Mathematics, Physics or
`
`equivalent and three to five years of experience working with wireless digital
`
`communication systems including physical layer of such systems, and that
`
`additional education might compensate for less experience, and vice-versa. It is my
`
`opinion that such a person would have been actively engaged in academic research
`
`7
`
`IPR2022-00648
`Apple EX1023 Page 9
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`and learning through study and practice in the field, and possibly through formal
`
`instruction through the bibliographic resources relevant to his or her research. By
`
`the 2000s, such a person would have had access to a vast array of print resources,
`
`including at least the documents referenced below, as well as to a fast-changing set
`
`of online resources.
`
`C. Library Catalog Records and Other Resources
`19. Some background on MARC
`(Machine-Readable Cataloging)
`
`formatted records, OCLC, and WorldCat is helpful to understand the library
`
`catalog records discussed in this declaration. I am fully familiar with the library
`
`cataloging standard known as the MARC standard, which is an industry-wide
`
`standard method of storing and organizing library catalog information.1 MARC
`
`practices have been consistent since the MARC format was developed by the
`
`Library of Congress in the 1960s, and by the early 1970s became the U.S. national
`
`standard for disseminating bibliographic data. By the mid-1970s, MARC format
`
`became the international standard, and persists through the present. A MARC-
`
`compatible library is one that has a catalog consisting of individual MARC records
`
`for each of its items. The underlying MARC format (computer program) underpins
`
`
`
`1 The full text of the standard is available from the Library of Congress at
`
`http://www.loc.gov/marc/bibliographic/.
`
`8
`
`IPR2022-00648
`Apple EX1023 Page 10
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`the online public access catalog (OPAC) that is available to library users to locate
`
`a particular holding of a library. Today, MARC is the primary communications
`
`protocol for the transfer and storage of bibliographic metadata in libraries.2 The
`
`MARC practices discussed below were in place during the 2000s time frame
`
`relevant to the documents referenced herein.
`
`20. Online Computer Library Center (OCLC) is a not-for-profit worldwide
`
`consortium of libraries. Similar to MARC standards, OCLC’s practices have been
`
`consistent since the 1970s through to the present. Accordingly, the OCLC practices
`
`discussed below were in place during the time frame discussed in my opinions
`
`
`
`2 Almost every major library in the world uses a catalog that is MARC-compatible.
`
`See, e.g., Library of Congress, MARC Frequently Asked Questions (FAQ),
`
`https://www.loc.gov/marc/faq.html (last visited Jan. 24, 2018) (“MARC is the
`
`acronym for MAchine-Readable Cataloging. It defines a data format that emerged
`
`from a Library of Congress-led initiative that began nearly forty years ago.
`
`It provides the mechanism by which computers exchange, use, and interpret
`
`bibliographic information, and its data elements make up the foundation of most
`
`library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994 (reaffirmed
`
`2009) standard for Information Interchange Format.
`
`9
`
`IPR2022-00648
`Apple EX1023 Page 11
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`section. OCLC was created “to establish, maintain and operate a computerized
`
`library network and to promote the evolution of library use, of libraries themselves,
`
`and of librarianship, and to provide processes and products for the benefit of library
`
`users and libraries, including such objectives as increasing availability of library
`
`resources to individual library patrons and reducing the rate of rise of library per-
`
`unit costs, all for the fundamental public purpose of furthering ease of access to and
`
`use of the ever- expanding body of worldwide scientific, literary and educational
`
`knowledge and information.”3 Among other services, OCLC and its members are
`
`responsible for maintaining the WorldCat database (http://www.worldcat.org/), used
`
`by libraries throughout the world.
`
`21. Libraries worldwide use the machine-readable MARC format for
`
`catalog records. MARC-formatted records include a variety of subject access points
`
`based on the content of the document being cataloged. A MARC record for a
`
`particular work comprises several fields, each of which contains specific data about
`
`the work. Each field is identified by a standardized, unique, three-digit code
`
`
`
`3 OCLC Online Computer Library Center, Inc., Amended Articles of Incorporation
`
`of OCLC Online Computer Library Center, Inc., Third Article (OCLC, Dublin,
`
`Ohio) Revised November 30, 2016, https://www.oclc.org/content/dam/oclc/
`
`membership/articles-of-incorporation.pdf.
`
`10
`
`IPR2022-00648
`Apple EX1023 Page 12
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`corresponding to the type of data that follows. For example, a work’s title is recorded
`
`in field 245, the primary author of the work is recorded in field 100, a work’s
`
`International Standard Book Number (“ISBN”) is recorded in field 020, and the
`
`work’s Library of Congress call number (assigned by Library of Congress) is
`
`recorded in field 050. Some fields can contain subfields, which are indicated by
`
`letters. For example, a work’s publication date is recorded in field 260 under the
`
`subfield “c.”
`
`22. The MARC Field 040, subfield “a,” identifies the library or other entity
`
`that created the catalog record in the MARC format. The MARC Field 008
`
`identifies the date when this first MARC record was created. The MARC Field
`
`005 identifies the most recent catalog activity including location assignment, by
`
`the holding library, that is, the library which owns the book and is identified in the
`
`OPAC.
`
`23. MARC records also include several fields that include subject matter
`
`classification information. An overview of MARC record fields is available through
`
`the Library of Congress.4 For example, 6XX fields are termed “Subject Access
`
`Fields.”5 Among these, for example, is the 650 field; this is the “Subject Added
`
`
`
`4 See http://www.loc.gov/marc/bibliographic/.
`
`5 See http://www.loc.gov/marc/bibliographic/bd6xx.html.
`
`11
`
`IPR2022-00648
`Apple EX1023 Page 13
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`Entry – Topical Term” field.6 The 650 field is a “[s]ubject added entry in which the
`
`entry element is a topical term.” Id. The 650 field entries “are assigned to a
`
`bibliographic record to provide access according to generally accepted thesaurus-
`
`building rules (e.g., Library of Congress Subject Headings (LCSH), Medical
`
`Subject Headings (MeSH)).” Id. Thus, a researcher can easily discover material
`
`relevant to a topic of interest with a search using the terms employed in the MARC
`
`Fields 6XX.
`
`24. Further, MARC records include call numbers, which themselves
`
`include a classification number. For example, the 050 field is dedicated as the
`
`“Library of Congress Call Number”7 as assigned by the Library of Congress. A
`
`defined portion of the Library of Congress Call Number is the classification
`
`number, and “source of the classification number is Library of Congress
`
`Classification and the LC Classification-Additions and Changes.” Id. Thus,
`
`included in the 050 field is a subject matter classification. As an example:
`
`TK5105.59 indicates books on computer networks – security measures. When a
`
`local library assigns a classification number, most often a Library of Congress
`
`derived classification number created by a local library cataloger or it could be a
`
`
`
`6 See http://www.loc.gov/marc/bibliographic/bd650.html.
`
`7 See http://www.loc.gov/marc/bibliographic/bd050.html.
`
`12
`
`IPR2022-00648
`Apple EX1023 Page 14
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`Dewey Decimal classification number for example, 005.8, computer networks –
`
`security measures, it appears in the 090 field. In either scenario, the MARC record
`
`includes a classification number in the call number field that represents a subject
`
`matter classification.
`
`25. The 9XX fields, which are not part of the standard MARC 21 format,8
`
`were defined by OCLC for use by the Library of Congress, processing or holding
`
`notes for a local library, and for internal OCLC use. For example, the 955 field is
`
`reserved for use by the Library of Congress to track the progress of a new acquisition
`
`from the time it is submitted for Cataloging in Publication (CIP) review until it is
`
`published and fully cataloged and publicly available for use within the Library of
`
`Congress. Fields 901-907, 910, and 945-949 have been defined by OCLC for local
`
`use and will pass OCLC validation. Fields 905, 910, 980 etc., are often used by an
`
`individual library for internal processing purposes, for example the date of receipt
`
`or cataloging and/or the initials of the cataloger.
`
`26. WorldCat is the world’s largest public online catalog, maintained by
`
`the OCLC, a not-for-profit international library consortium, and built with the
`
`records created by the thousands of libraries that are members of OCLC. OCLC
`
`
`
`8 See https://www.oclc.org/bibformats/en/9xx.html.
`
`13
`
`IPR2022-00648
`Apple EX1023 Page 15
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`provides bibliographic and abstract information to the public based on MARC-
`
`compliant records through its OCLC WorldCat database. WorldCat requires no
`
`knowledge of MARC tags and code and does not require a login or password.
`
`WorldCat is easily accessible through the World Wide Web to all who wish to search
`
`it; there are no restrictions to be a member of a particular community, etc. The date
`
`a given catalog record was created (corresponding to the MARC Field 008) appears
`
`in some detailed WorldCat records as the Date of Entry but not necessarily all.
`
`WorldCat does not provide a view of the underlying MARC format for a specific
`
`WorldCat record. In order to see the underlying MARC format the researcher must
`
`locate the book in a holding library listed among those shown in WorldCat, and
`
`search the online public catalog (OPAC) of a holding library. Whereas WorldCat
`
`records are widely available, the availability of library specific MARC formatted
`
`records varies from library to library. When a specific library wishes to make the
`
`underlying MARC format available there will be a link from the library’s OPAC
`
`display, often identified as a MARC record or librarian/staff view.
`
`27. When a MARC record is created by the Library of Congress or an
`
`OCLC member institution, the date of creation for that record is automatically
`
`populated in the fixed field (008), with characters 00 through 05 in year, month, day
`
`14
`
`IPR2022-00648
`Apple EX1023 Page 16
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`format (YYMMDD).9 Therefore, the MARC record creation date reflects the date
`
`on which the publication associated with the record was first cataloged. Thereafter,
`
`the local library’s computer system may automatically update the date in field 005
`
`every time the library updates the MARC record (e.g., to reflect that an item has
`
`been moved to a different shelving location within the library, or a reload of the
`
`bibliographic data with the introduction of a new library management system that
`
`creates and manages the OPAC).
`
`D. Monograph Publications
`28. Monograph publications are written on a single topic, presented at
`
`length and distinguished from an article and include books, dissertations, and
`
`technical reports. A library typically creates a catalog record when the monograph
`
`is acquired by the library. First, it will search OCLC to determine if a record has
`
`already been created by the Library of Congress or another OCLC institution. If a
`
`record is found in OCLC, the record is downloaded into the library’s LMS (Library
`
`Management System) that includes typically the OPAC (online public access
`
`catalog by which researchers locate a particular library holding in a user-friendly
`
`format), acquisitions, cataloging, and circulation integrated functions. Once the
`
`
`
`9 Some of the newer library catalog systems also include hour, minute, second
`
`(HHMMSS).
`
`15
`
`IPR2022-00648
`Apple EX1023 Page 17
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`item is downloaded into the library’s LMS, the library adds its identifier to the
`
`OCLC database so when a search is completed on WorldCat, the library will be
`
`indicated as an owner of the title. Once a record is created in a Library’s LMS, it is
`
`searchable and viewable through the library’s OPAC, typically by author, title, and
`
`subject heading, at that library and from anywhere in the world through the internet
`
`by accessing that library’s OPAC. The OPAC also connects with the circulation
`
`function of the library, which typically indicates whether the record is available, in
`
`circulation, etc., with
`
`its call number and
`
`location
`
`in a
`
`specific
`
`departmental/disciplinary library, if applicable. The OPAC not only provides
`
`immediate bibliographic access on-site, it also facilitates the interlibrary loan
`
`process, which is when one publication is loaned from one library to another.
`
`29. O’Reilly Online Learning - O’Reilly learning provides individuals,
`
`teams, and businesses with expert-created and curated information covering all the
`
`areas that will shape our future—including artificial intelligence, operations, data,
`
`UX design, finance, leadership, and more.10
`
`
`
`10 See https://www.oreilly.com/online-learning/.
`
`16
`
`IPR2022-00648
`Apple EX1023 Page 18
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`30. Google Books - find a book, click on the “Buy this book” and “Borrow
`
`this book” links to see where it can be purchased as an e-book from the Google
`
`Play Store.11
`
`31. Wisconsin TechSearch (WTS) – WTS is a set of services offered by the
`
`University of Wisconsin Libraries. WTS offers an array of article delivery and
`
`research services to any retrieving information, regardless of whether the individual
`
`is affiliated with the University of Wisconsin.12
`
`IV. OPINION REGARDING AUTHENTICITY AND
`ACCESSIBILITY
`A.
`Stefania Sesia, Issam Toufik, and Matthew Baker, editors. LTE:
`The UMTS Long Term Evolution from Theory to Practice. 2d
`edition. Wiley, 2011. (“Sesia”)
`Authentication
`32.
`I have been asked to opine on a book edited by Stefania Sesia, Issam
`
`PUBLIC
`
`Toufik, and Matthew Baker titled. LTE: The UMTS Long Term Evolution from
`
`Theory to Practice. 2d edition. published by Wiley in 2011. Sesia contains 752
`
`pages, 32 Chapters, and an Index.
`
`
`
`11 See https://books.google.com/googlebooks/about/index.html.
`
`12 See (https://wts.wisc.edu/).
`
`17
`
`IPR2022-00648
`Apple EX1023 Page 19
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`I have evaluated the Sesia reference several ways: (1) by assessing
`
`33.
`
`Sesia 2011, Exhibit 1013, provided to me by counsel; (2) by downloading Sesia
`
`from the Wiley Online Library through the Purdue University Libraries; and (3) by
`
`accessing and reviewing the OPAC and MARC records for Sesia at the Library of
`
`Congress. Attachment A-1 is a download of Sesia that includes the entire book. This
`
`digital version was accessible to me from the Wiley Online Library through Purdue
`
`University Libraries, and was downloaded on February 5, 2021.13
`
`The digital version of Sesia is available to anyone for a fee through the Wiley Online
`
`Library.14
`
`34. Attachment B-1 is a true and correct copy of the Library of Congress
`
`OPAC (online catalog). Typically, I would have had scans of the print copy of Sesia
`
`owned by the Library of Congress, however, due to the pandemic, the Library of
`
`
`
`13 See https://onlinelibrary-wiley-com.ezproxy.lib.purdue.edu/doi/pdf/10.1002/
`
`9780470978504.
`
`14 See https://www.google.com/books/edition/LTE_The_UMTS_Long_Term_
`
`Evolution/g0lficnQ6eUC?hl=en&gbpv=1&dq=LTE+-+the+UMTS+long+term
`
`+evolution+%5Belectronic+resource%5D+:+from+theory+to+practice&pg=PR21
`
`&printsec=frontcover.
`
`
`
`18
`
`IPR2022-00648
`Apple EX1023 Page 20
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`Congress has been and remains closed at the time of this declaration and hence, I
`
`am unable to obtain scans of Sesia owned by the Library of Congress. Therefore, I
`
`will draw upon the OPAC and MARC records to verify the ownership, date of
`
`receipt and availability of Sesia at the Library of Congress.
`
`35.
`
`In Attachment B-1 the document cataloged in this record is as verified
`
`by the fields listing under personal name: Sesia, Stefania; title: LTE: The UMTS Long
`
`Term Evolution from Theory to Practice. 2d edition. published by Wiley in 2011 and
`
`ISBN: 9780470660256.
`
`36. Sesia could have been located in the Library of Congress OPAC by
`
`searching for the editors: Stefania Sesia, Issam Toufik, and Matthew Baker; title:
`
`LTE: The UMTS Long Term Evolution from Theory to Practice and/or by the
`
`following subject headings: Universal Mobile Telecommunication Systems; and/or
`
`Long-Term Evolution (Telecommunications).
`
`37. To verify authenticity of Attachment A-1 and Attachment B-1, I
`
`assessed the title page, copyright page and table of contents, from both, they are
`
`identical. Having located Sesia in a research library, the Library of Congress, and
`
`in a publisher data base, Wiley Online Library, I can verify that Sesia is an
`
`authentic document published by Wiley in 2011 in print and also made available in
`
`digital format.
`
`38.
`
`I conclude and affirm that Sesia is an authentic document.
`
`19
`
`IPR2022-00648
`Apple EX1023 Page 21
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`
`Public Accessibility
`39. Attachment C-1 is the MARC record I downloaded from the Library
`
`of Congress OPAC. The MARC format provides information about the processing
`
`of Sesia by the Library of Congress. As mentioned above, the 9XX field in the
`
`MARC format is allocated to local libraries to enter information specific to that
`
`library. The Library of Congress has reserved the 955 field to indicate date of receipt
`
`of the published book and cataloging/indexing. The MARC record is a record created
`
`and maintained by Federal employees of the Library of Congress.
`
`The MARC 955 field in this record reads:
`
`955 |b xj12 2010-09-14 |c xj12 2010-09-14 ONIX (telework) to STM |w
`
`rd11 2010-10- 19 |a xn02 2011-11-21 2 copies rec’d., to CIP ver. |f xj16
`
`2012-04-10 copy 1 and 2 to BCCD
`
`40. The 955 record indicates the processing Sesia began 2010-09-14
`
`(September 14, 2010) and finished cataloging/processing on 2012-04-10 (April 4,
`
`2012). The physical copy of Sesia at the Library of Congress would have been
`
`available for public access within one week to ten days, consistent with library
`
`practice and procedures I witnessed during my professional work as a librarian,
`
`after it finished processing (labeling and transfer to the shelf) on April 4, 2012,
`
`therefore, Sesia would have been available at the Library of Congress no later than
`
`April 14, 2012.
`
`20
`
`IPR2022-00648
`Apple EX1023 Page 22
`
`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,860,044
`41. Sesia was then accessible through Library of Congress OPAC. Once
`
`Sesia was entered into the general collection of the Library of Congress, members of
`
`the public could access the book by having it brought to either the Jefferson or
`
`Adams Reading Rooms. The collections of the Library of Congress are searchable
`
`by subject matter, author, or title such that a skilled researcher could find works
`
`in which they were interested. For example, a member of the public could have
`
`located a copy of Sesia by searching for the editors: Stefania Sesia, Issam Toufik,
`
`and Matthew Baker; title: LTE: The UMTS Long Term Evolution from Theory to
`
`Practice and/or by
`
`the
`
`following subject headings: Universal Mobile
`
`Telecommunication Systems; and/or Long-Term Evolution (Telecommunications).
`
`42. Members of the public could read, study, and make notes about a
`
`selected work in the Reading Rooms. Further, members of the public were
`
`permitted to make photocopies of portions of the works while in the Reading
`
`Rooms. Accordingly, a copy of Sesia was accessible to the general p
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
